Working with audit rules

Use automatic audit checks to find issues on transactions and other data elements.

Sovos SAF-T runs hundreds of automated checks against your data, to catch issues as early as possible. Each rule is designed to identify specific conditions that could affect your ability to generate a valid SAF-T file or increase the risk of rejection by tax authorities. These rules check for a wide range of potential issues:

Missing required fields or information
Format violations
Data consistency problems
Relationship errors between different data elements
Regulatory compliance issues

After you upload files, the system runs rules either on individual files, across all files (including data relationships), or both scenarios to identify any inconsistencies or issues.

After uploading your files to the system in the Repository section, you can check the data upload. If there are findings, you'll see Yes displayed in the Findings column. Click the findings indicator to go to the Audit section, or go directly to the Audit section in the left menu.

You can see all Audit notes compiled in the Audit Notes section. You'll also find an Execution Summary section with an overview of all rules that were scheduled to run on their files and their status:

Not executed: Rule was scheduled but did not run
Executed successfully: Rule ran fully with no findings (no problems detected)
Executed with findings: Rule ran and identified issues that require attention

Audit rules overview

Each rule shows the following information:

Description: Explains what the rule is checking for
Identifier: Unique Rule ID for reference
Rule type: Category or type of validation rule
Severity: Impact level of the finding
Entity: The parent entity from the XSD file where the rule applies
Number of occurrences: Count of how many times this error occurred (limited to two for performance)

Rule detail view structure

Each rule shows the following information in the detail view:

Header information: The header contains a Rule ID (a unique identifier for reference) and a description (a comprehensive explanation of what the rule checks with context and background about the validation logic).
Data columns (1-8): The system displays up to eight predetermined columns containing relevant data details that help you understand the specific issue. Columns are pre-configured based on the rule type, and show actual data values that triggered the finding (or N/A if data is not available). The data columns provide context for understanding why the rule flagged this data and help to identify patterns across multiple occurrences.
Reference column: The reference column provides navigation to related data to get broader context when needed. When it's populated, it shows a hyperlink that you can click to go to the main entity view. Clicking on the hyperlink will bring you to the parent record with the relevant filters already applied, so that you can find complete context to understand and resolve the issue.
File column: The file column identifies the source file where the problem was found. It will display the Import ID of the relevant file, to help with tracking which uploaded file contains the problematic data.
Audit status: Here you can set a validation status for each data problem. Options include Fraud, To be validated, and Compliant.
Audit note: Here you can add comments explaining your assessment, document resolution steps taken, provide context for future reference, or support team communication with detailed notes.

The Audit Rules details screen displays only two occurrences per rule by default. This limitation is based on research showing that errors typically follow the same pattern across all instances - reviewing a couple of examples usually provides sufficient understanding of the issue. When you need to see all occurrences of a specific rule finding, click View all findings.

Common types of audit rules

Audit rules generally fall into several categories:

Format rules

These check that data adheres to expected structures, such as:

Date formats (YYYY-MM-DD)
Numeric formatting (decimal separators, precision)
Text field length limitations
Character set restrictions

Content rules

These examine the actual values contained in fields:

Valid tax codes and rates
Proper account numbers
Required identification numbers, such as VAT IDs
Mandatory field population

Relationship rules

These verify connections between different data elements:

Invoice lines sum to header totals
Customer references exist in master data
Tax calculations match applicable rates
Account hierarchies are properly maintained

Consistency rules

These look for logical consistency across the dataset:

Opening balances plus transactions equal closing balances
Debit and credit totals balance
Proper treatment of negative values
Consistent application of classifications

Using audit results effectively

Follow these best practices when working with audit results:

Establish a clear workflow: Address all Critical issues first, move to High severity issues next, address Medium and Low issues as time permits, and document any acceptable exceptions.
Document resolution actions: Keep clear records of which issues were identified, what actions were taken to resolve them, who was responsible for the resolution, and when the corrections were completed.
Track progress: Monitor your progress through validation issues to ensure all critical items are addressed before submission deadlines. The platform shows the current count of issues by severity, making it easy to track overall status.
Use findings to improve processes: Analyze patterns in audit results to identify underlying process or system issues that may need attention beyond the immediate corrections.

View and understand audit results

Learn how to view and interpret audit results, including issue counts and detailed rule information.

After data import, the platform displays a summary of audit results indicating how many issues were found at each severity level.

Go to the Audit section in the main menu and click Audit Rules.
Review the count of issues by severity level.
Examine the list of audit rules that have triggered issues.
Click on a specific rule to see the detailed results.
The audit results screen provides an overview of all triggered rules, while clicking on a specific rule displays the actual data elements that failed the validation check.

Manage a specific issue

Understand the exact nature of a validation issue and document any acceptable exceptions.

Click on the audit rule in the list to view all instances where this rule was triggered.
Review the detailed information showing exactly which data elements failed the validation.
For all critical issues, and most high priority issues, fix the issue in the source system and reimport.
For acceptable exceptions, use the Audit Notes functionality to document the justification, including relevant context explaining why the data is correct.
Comments serve as important documentation if tax authorities question these items during an audit. For example, you might note: "This transaction uses a non-standard tax code because it represents a special case under Article X of the tax code as confirmed with our tax advisors."
Reimport any data adjusted in the source system.

Audit rule example

Review an example of addressing an audit discrepancy.

Let's walk through a real example to demonstrate how to use the audit system effectively.

Initial finding

When reviewing the Audit Rules page, you find the following:

Description: There is data missing in the Transaction Lines Tax Information entity according to tax authorities.
Identifier: T.00124
Rule type: Schema
Severity: Critical
Entity: Transaction
Number of occurrences: 2

This tells us that there's a critical problem with a missing tax currency amount in transaction lines tax information within the Transaction entity. A screenshot of the Audit Rules page.

Rule details investigation

Click on the rule to access detailed information. The rule detail view shows:

An extended description of the problem: The Tax Currency Amount field is a mandatory field, according to tax authorities.
Data columns with specific transaction details, including Transaction ID and Record ID.
The location of the missing data: In this screenshot, Column 3 shows empty values where tax amount should be present.

From this information, we can see that one of the problems is with TransactionID 20241019 (Record ID 19), where no tax amount is present (mandatory field violation). A screenshot showing the transactions described.

Click the link in the References field to go to the GL Transactions page. Here you'll find:

A filtered view of the specific Transaction ID (20241019)
Complete transaction context to understand the broader data picture
Related records that may help identify the root cause

Record examination

Navigate to your specific Record ID. From the transaction view, click Record ID 19 to access Tax Information details.

Reviewing the actual data, you can see that the tax amount shows 0.00. According to tax authorities, this field cannot be empty/zero. This confirms the problem. A screenshot showing the Record ID.

Resolution options

Option 1: Correct the data (recommended for critical findings)

Delete the file in the Repository section.
Correct the information in your source system (update Tax Amount to proper value).
Upload the corrected file in the Repository section.
Verify resolution by checking that the rule shows Executed Successfully in the Execution Summary.

Option 2: Acknowledge without correction

If you cannot or choose not to correct the data:

Return to the audit rule detail view.
Click Create Audit Note.
Complete the audit management by selecting the appropriate status:
- To be validated, if requiring further review
- Compliant, if you determine the data is acceptable as-is
- Fraud, if this indicates fraudulent activity
Add detailed notes with your decision and reasoning. Example note: "Reviewed with tax team. This transaction represents a zero-tax exempt service. Tax authorities confirmed this is acceptable for this transaction type. Documented approval reference: TAX-2024-0892"

Follow-up verification

After taking action:

Check the Execution Summary page to see updated rule status
Verify audit trail shows your notes and status changes
Confirm team visibility of your resolution approach

This example demonstrates the complete workflow, from identifying a critical finding, through investigation, to resolution, whether through data correction or documented acceptance.

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